Broker-Dealer definition

Broker-Dealer. Any broker or dealer registered under the Exchange Act.

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Broker-Dealer has the meaning set forth in the Registration Rights Agreement.

Broker-Dealer means any broker or dealer registered with the Commission under the Exchange Act.

Examples of Broker-Dealer in a sentence

The Investor shall be solely responsible for all fees and commissions of the Broker-Dealer (if any), which shall not exceed customary brokerage fees and commissions and shall be responsible for designating only a DTC participant eligible to receive DWAC Shares.
Termination for any of the reasons set forth in sub-sections C.1. through C.3 will occur immediately upon notice to Broker-Dealer by Company.
Submission of an application for a Contract after notice of such amendment will constitute agreement of the Broker-Dealer to such amendment G.
The Investor shall, from time to time, provide the Company and the Company’s transfer agent with all information regarding the Broker-Dealer reasonably requested by the Company.
Broker-Dealer shall conduct a periodic, documented Risk Assessment of its Information Systems sufficient to inform the design of its cybersecurity program.

More Definitions of Broker-Dealer

Broker-Dealer means any broker or dealer registered as such under the Exchange Act.

Broker-Dealer shall have the meaning assigned to such term in Section 6.13.

Broker-Dealer means any broker or dealer registered under the Exchange Act.

Broker-Dealer means any broker-dealer, commercial bank or other entity permitted by law to perform the functions required of a Broker-Dealer in Part II of this Statement, that is a member of, or a participant in, the Securities Depository or is an affiliate of such member or participant, has been selected by the Fund and has entered into a Broker-Dealer Agreement that remains effective.

Broker-Dealer means a person engaged in the business of effecting transactions in securities for the account of others or for the person's own account. The term does not include:

Broker-Dealer means any broker-dealer, or other entity permitted by law to perform the functions required of a Broker-Dealer in paragraph 10 of these Articles Supplementary, that has been selected by the Corporation and has entered into a Broker-Dealer Agreement with the Auction Agent that remains effective.

Broker-Dealer means a person registered as a broker or dealer under the Securities Exchange Act of 1934, as amended.